FAC-008-3 Reliability Standard

Standard FAC-008-3 — Facility Ratings

A. Introduction

1.

Title:

Facility Ratings

2.

Number:

FAC-008-3

3.

Purpose:
To ensure that Facility Ratings used in the reliable planning and operation of the
Bulk Electric System (BES) are determined based on technically sound principles. A Facility
Rating is essential for the determination of System Operating Limits.

4.

Applicability
4.1. Transmission Owner.
4.2. Generator Owner.

5.

Effective Date:
The first day of the first calendar quarter that is twelve months beyond
the date approved by applicable regulatory authorities, or in those jurisdictions where
regulatory approval is not required, the first day of the first calendar quarter twelve months
following BOT adoption.

B. Requirements
R1.

Each Generator Owner shall have documentation for determining the Facility Ratings of its
solely and jointly owned generator Facility(ies) up to the low side terminals of the main step up
transformer if the Generator Owner does not own the main step up transformer and the high
side terminals of the main step up transformer if the Generator Owner owns the main step up
transformer. [Violation Risk Factor: Lower] [Time Horizon: Long-term Planning]
1.1. The documentation shall contain assumptions used to rate the generator and at least one
of the following:
•

Design or construction information such as design criteria, ratings provided
by equipment manufacturers, equipment drawings and/or specifications,
engineering analyses, method(s) consistent with industry standards (e.g.
ANSI and IEEE), or an established engineering practice that has been
verified by testing or engineering analysis.

•

Operational information such as commissioning test results, performance
testing or historical performance records, any of which may be supplemented
by engineering analyses.

1.2. The documentation shall be consistent with the principle that the Facility Ratings do not
exceed the most limiting applicable Equipment Rating of the individual equipment that
comprises that Facility.
R2.

Each Generator Owner shall have a documented methodology for determining Facility Ratings
(Facility Ratings methodology) of its solely and jointly owned equipment connected between
the location specified in R1 and the point of interconnection with the Transmission Owner that
contains all of the following. [Violation Risk Factor: Lower] [Time Horizon: Long-term
Planning]
2.1.

The methodology used to establish the Ratings of the equipment that comprises the
Facility(ies) shall be consistent with at least one of the following:
•

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications such as nameplate rating.

Adopted by the NERC Board of Trustees: May 24, 2011

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Standard FAC-008-3 — Facility Ratings

2.2.

R3.

•

One or more industry standards developed through an open process such as
Institute of Electrical and Electronic Engineers (IEEE) or International
Council on Large Electric Systems (CIGRE).

•

A practice that has been verified by testing, performance history or
engineering analysis.

The underlying assumptions, design criteria, and methods used to determine the
Equipment Ratings identified in Requirement R2, Part 2.1 including identification of
how each of the following were considered:
2.2.1.

Equipment Rating standard(s) used in development of this methodology.

2.2.2.

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications.

2.2.3.

Ambient conditions (for particular or average conditions or as they vary in
real-time).

2.2.4.

Operating limitations. 1

2.3.

A statement that a Facility Rating shall respect the most limiting applicable
Equipment Rating of the individual equipment that comprises that Facility.

2.4.

The process by which the Rating of equipment that comprises a Facility is determined.
2.4.1.

The scope of equipment addressed shall include, but not be limited to,
conductors, transformers, relay protective devices, terminal equipment, and
series and shunt compensation devices.

2.4.2.

The scope of Ratings addressed shall include, as a minimum, both Normal
and Emergency Ratings.

Each Transmission Owner shall have a documented methodology for determining Facility
Ratings (Facility Ratings methodology) of its solely and jointly owned Facilities (except for
those generating unit Facilities addressed in R1 and R2) that contains all of the following:
[Violation Risk Factor: Medium] [ Time Horizon: Long-term Planning]
3.1.

3.2.

The methodology used to establish the Ratings of the equipment that comprises the
Facility shall be consistent with at least one of the following:
•

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications such as nameplate rating.

•

One or more industry standards developed through an open process such as
Institute of Electrical and Electronics Engineers (IEEE) or International
Council on Large Electric Systems (CIGRE).

•

A practice that has been verified by testing, performance history or
engineering analysis.

The underlying assumptions, design criteria, and methods used to determine the
Equipment Ratings identified in Requirement R3, Part 3.1 including identification of
how each of the following were considered:
3.2.1.

1

Equipment Rating standard(s) used in development of this methodology.

Such as temporary de-ratings of impaired equipment in accordance with good utility practice.

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Standard FAC-008-3 — Facility Ratings

2

3.2.2.

Ratings provided by equipment manufacturers or obtained from equipment
manufacturer specifications.

3.2.3.

Ambient conditions (for particular or average conditions or as they vary in
real-time).

3.2.4.

Operating limitations. 2

3.3.

A statement that a Facility Rating shall respect the most limiting applicable
Equipment Rating of the individual equipment that comprises that Facility.

3.4.

The process by which the Rating of equipment that comprises a Facility is determined.
3.4.1.

The scope of equipment addressed shall include, but not be limited to,
transmission conductors, transformers, relay protective devices, terminal
equipment, and series and shunt compensation devices.

3.4.2.

The scope of Ratings addressed shall include, as a minimum, both Normal
and Emergency Ratings.

R4.

Each Transmission Owner shall make its Facility Ratings methodology and each Generator
Owner shall each make its documentation for determining its Facility Ratings and its Facility
Ratings methodology available for inspection and technical review by those Reliability
Coordinators, Transmission Operators, Transmission Planners and Planning Coordinators that
have responsibility for the area in which the associated Facilities are located, within 21
calendar days of receipt of a request. [Violation Risk Factor: Lower] [Time Horizon:
Operations Planning]

R5.

If a Reliability Coordinator, Transmission Operator, Transmission Planner or Planning
Coordinator provides documented comments on its technical review of a Transmission
Owner’s Facility Ratings methodology or Generator Owner’s documentation for determining
its Facility Ratings and its Facility Rating methodology, the Transmission Owner or Generator
Owner shall provide a response to that commenting entity within 45 calendar days of receipt of
those comments. The response shall indicate whether a change will be made to the Facility
Ratings methodology and, if no change will be made to that Facility Ratings methodology, the
reason why. [Violation Risk Factor: Lower] [Time Horizon: Operations Planning]

R6.

Each Transmission Owner and Generator Owner shall have Facility Ratings for its solely and
jointly owned Facilities that are consistent with the associated Facility Ratings methodology or
documentation for determining its Facility Ratings. [Violation Risk Factor: Medium] [Time
Horizon: Operations Planning]

R7.

Each Generator Owner shall provide Facility Ratings (for its solely and jointly owned Facilities
that are existing Facilities, new Facilities, modifications to existing Facilities and re-ratings of
existing Facilities) to its associated Reliability Coordinator(s), Planning Coordinator(s),
Transmission Planner(s), Transmission Owner(s) and Transmission Operator(s) as scheduled
by such requesting entities. [Violation Risk Factor: Medium] [Time Horizon: Operations
Planning]

R8.

Each Transmission Owner (and each Generator Owner subject to Requirement R2) shall
provide requested information as specified below (for its solely and jointly owned Facilities
that are existing Facilities, new Facilities, modifications to existing Facilities and re-ratings of
existing Facilities) to its associated Reliability Coordinator(s), Planning Coordinator(s),
Transmission Planner(s), Transmission Owner(s) and Transmission Operator(s): [Violation
Risk Factor: Medium] [Time Horizon: Operations Planning]

Such as temporary de-ratings of impaired equipment in accordance with good utility practice.

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Standard FAC-008-3 — Facility Ratings

8.1.

8.2.

As scheduled by the requesting entities:
8.1.1.

Facility Ratings

8.1.2.

Identity of the most limiting equipment of the Facilities

Within 30 calendar days (or a later date if specified by the requester), for any
requested Facility with a Thermal Rating that limits the use of Facilities under the
requester’s authority by causing any of the following: 1) An Interconnection
Reliability Operating Limit, 2) A limitation of Total Transfer Capability, 3) An
impediment to generator deliverability, or 4) An impediment to service to a major
load center:
8.2.1.

Identity of the existing next most limiting equipment of the Facility

8.2.2.

The Thermal Rating for the next most limiting equipment identified in
Requirement R8, Part 8.2.1.

C. Measures
M1. Each Generator Owner shall have documentation that shows how its Facility Ratings were
determined as identified in Requirement 1.
M2. Each Generator Owner shall have a documented Facility Ratings methodology that includes all
of the items identified in Requirement 2, Parts 2.1 through 2.4.
M3. Each Transmission Owner shall have a documented Facility Ratings methodology that includes
all of the items identified in Requirement 3, Parts 3.1 through 3.4.
M4. Each Transmission Owner shall have evidence, such as a copy of a dated electronic note, or
other comparable evidence to show that it made its Facility Ratings methodology available for
inspection within 21 calendar days of a request in accordance with Requirement 4. The
Generator Owner shall have evidence, such as a copy of a dated electronic note, or other
comparable evidence to show that it made its documentation for determining its Facility
Ratings or its Facility Ratings methodology available for inspection within 21 calendar days of
a request in accordance with Requirement R4.
M5. If the Reliability Coordinator, Transmission Operator, Transmission Planner or Planning
Coordinator provides documented comments on its technical review of a Transmission
Owner’s or Generator Owner’s Facility Ratings methodology or a Generator Owner’s
documentation for determining its Facility Ratings, the Transmission Owner or Generator
Owner shall have evidence, (such as a copy of a dated electronic or hard copy note, or other
comparable evidence from the Transmission Owner or Generator Owner addressed to the
commenter that includes the response to the comment,) that it provided a response to that
commenting entity in accordance with Requirement R5.
M6. Each Transmission Owner and Generator Owner shall have evidence to show that its Facility
Ratings are consistent with the documentation for determining its Facility Ratings as specified
in Requirement R1 or consistent with its Facility Ratings methodology as specified in
Requirements R2 and R3 (Requirement R6).
M7. Each Generator Owner shall have evidence, such as a copy of a dated electronic note, or other
comparable evidence to show that it provided its Facility Ratings to its associated Reliability
Coordinator(s), Planning Coordinator(s), Transmission Planner(s), Transmission Owner(s) and
Transmission Operator(s) in accordance with Requirement R7.
M8. Each Transmission Owner (and Generator Owner subject to Requirement R2) shall have
evidence, such as a copy of a dated electronic note, or other comparable evidence to show that
it provided its Facility Ratings and identity of limiting equipment to its associated Reliability

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Standard FAC-008-3 — Facility Ratings

Coordinator(s), Planning Coordinator(s), Transmission Planner(s), Transmission Owner(s) and
Transmission Operator(s) in accordance with Requirement R8.
D. Compliance

1.

Compliance Monitoring Process
1.1. Compliance Enforcement Authority
Regional Entity
1.2. Compliance Monitoring and Enforcement Processes:

•

Self-Certifications

•

Spot Checking

•

Compliance Audits

•

Self-Reporting

•

Compliance Violation Investigations

•

Complaints

1.3. Data Retention
The Generator Owner shall keep its current documentation (for R1) and any
modifications to the documentation that were in force since last compliance audit
period for Measure M1 and Measure M6.
The Generator Owner shall keep its current, in force Facility Ratings methodology
(for R2) and any modifications to the methodology that were in force since last
compliance audit period for Measure M2 and Measure M6.
The Transmission Owner shall keep its current, in force Facility Ratings
methodology (for R3) and any modifications to the methodology that were in force
since the last compliance audit for Measure M3 and Measure M6.
The Transmission Owner and Generator Owner shall keep its current, in force
Facility Ratings and any changes to those ratings for three calendar years for Measure
M6.
The Generator Owner and Transmission Owner shall each keep evidence for Measure
M4, and Measure M5, for three calendar years.
The Generator Owner shall keep evidence for Measure M7 for three calendar years.
The Transmission Owner (and Generator Owner that is subject to Requirement R2)
shall keep evidence for Measure M8 for three calendar years.
If a Generator Owner or Transmission Owner is found non-compliant, it shall keep
information related to the non-compliance until found compliant.
The Compliance Enforcement Authority shall keep the last audit and all subsequent
compliance records.
1.4. Additional Compliance Information
None

Adopted by the NERC Board of Trustees: May 24, 2011

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Standard FAC-008-3 — Facility Ratings

Violation Severity Levels
R#

Lower VSL

Moderate VSL

R1

N/A

•

R2

The Generator Owner failed to
include in its Facility Rating
methodology one of the following
Parts of Requirement R2:
•

R3

High VSL

Severe VSL

The Generator Owner’s Facility
Rating documentation did not
address Requirement R1, Part 1.2.

The Generator Owner failed to
provide documentation for
determining its Facility Ratings.

The Generator Owner failed to
include in its Facility Rating
methodology two of the following
Parts of Requirement R2:

The Generator Owner’s Facility
Rating methodology did not
address all the components of
Requirement R2, Part 2.4.

2.1.

•

2.1

OR

The Generator Owner’s Facility
Rating methodology failed to
recognize a facility's rating based
on the most limiting component
rating as required in Requirement
R2, Part 2.3

•

2.2.1

•

2.2.1

•

2.2.2

•

2.2.2

•

2.2.3

•

2.2.3

The Generator Owner failed to
include in its Facility Rating
Methodology, three of the
following Parts of Requirement R2:

•

2.2.4

•

2.2.4

•

2.1.

The Generator Owner failed to
include in its Facility Rating
Methodology four or more of the
following Parts of Requirement R2:

•

2.2.1

•

2.1

•

2.2.2

•

2.2.1

•

2.2.3

•

2.2.2

•

2.2.4

•

2.2.3

•

2.2.4

The Generator Owner’s
Facility Rating documentation
did not address Requirement
R1, Part 1.1.

OR

The Transmission Owner failed to
include in its Facility Rating
methodology one of the following
Parts of Requirement R3:

The Transmission Owner failed to
include in its Facility Rating
methodology two of the following
Parts of Requirement R3:

The Transmission Owner’s Facility
Rating methodology did not
address either of the following
Parts of Requirement R3:

•

3.1

•

3.1

•

3.4.1

The Transmission Owner’s Facility
Rating methodology failed to
recognize a Facility's rating based
on the most limiting component
rating as required in Requirement
R3, Part 3.3

•

3.2.1

•

3.2.1

•

3.4.2

OR

Adopted by NERC Board of Trustees: May 24, 2011

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Standard FAC-008-3 — Facility Ratings

R#

Lower VSL

Moderate VSL

High VSL

•

3.2.2

•

3.2.2

OR

•

3.2.3

•

3.2.3

•

3.2.4

•

3.2.4

The Transmission Owner failed to
include in its Facility Rating
methodology three of the following
Parts of Requirement R3:

Severe VSL
The Transmission Owner failed to
include in its Facility Rating
methodology four or more of the
following Parts of Requirement R3:
•

3.1

•

3.1

•

3.2.1

•

3.2.1

•

3.2.2

•

3.2.2

•

3.2.3

•

3.2.3

•

3.2.4

•

3.2.4

R4

The responsible entity made its
Facility Ratings methodology or
Facility Ratings documentation
available within more than 21
calendar days but less than or equal
to 31 calendar days after a request.

The responsible entity made its
Facility Ratings methodology or
Facility Ratings documentation
available within more than 31
calendar days but less than or equal
to 41 calendar days after a request.

The responsible entity made its
Facility Rating methodology or
Facility Ratings documentation
available within more than 41
calendar days but less than or equal
to 51 calendar days after a request.

The responsible entity failed to
make its Facility Ratings
methodology or Facility Ratings
documentation available in more
than 51 calendar days after a
request. (R3)

R5

The responsible entity provided a
response in more than 45 calendar
days but less than or equal to 60
calendar days after a request. (R5)

The responsible entity provided a
response in more than 60 calendar
days but less than or equal to 70
calendar days after a request.

The responsible entity provided a
response in more than 70 calendar
days but less than or equal to 80
calendar days after a request.

The responsible entity failed to
provide a response as required in
more than 80 calendar days after
the comments were received. (R5)

OR

OR

The responsible entity provided a
response within 45 calendar days,
and the response indicated that a
change will not be made to the
Facility Ratings methodology or
Facility Ratings documentation but
did not indicate why no change will
be made. (R5)

The responsible entity provided a
response within 45 calendar days,
but the response did not indicate
whether a change will be made to
the Facility Ratings methodology or
Facility Ratings documentation.
(R5)

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Standard FAC-008-3 — Facility Ratings

R#

Lower VSL

Moderate VSL

High VSL

Severe VSL

R6

The responsible entity failed to
establish Facility Ratings consistent
with the associated Facility Ratings
methodology or documentation for
determining the Facility Ratings for
5% or less of its solely owned and
jointly owned Facilities. (R6)

The responsible entity failed to
establish Facility Ratings consistent
with the associated Facility Ratings
methodology or documentation for
determining the Facility Ratings for
more than 5% or more, but less
than up to (and including) 10% of
its solely owned and jointly owned
Facilities. (R6)

The responsible entity failed to
establish Facility Ratings consistent
with the associated Facility Ratings
methodology or documentation for
determining the Facility Ratings for
more than 10% up to (and
including) 15% of its solely owned
and jointly owned Facilities. (R6)

The responsible entity failed to
establish Facility Ratings consistent
with the associated Facility Ratings
methodology or documentation for
determining the Facility Ratings for
more than15% of its solely owned
and jointly owned Facilities. (R6)

R7

The Generator Owner provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by up to and
including 15 calendar days.

The Generator Owner provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
15 calendar days but less than or
equal to 25 calendar days.

The Generator Owner provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
25 calendar days but less than or
equal to 35 calendar days.

The Generator Owner provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
35 calendar days.
OR
The Generator Owner failed to
provide its Facility Ratings to the
requesting entities.

R8

The responsible entity provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by up to and
including 15 calendar days. (R8,
Part 8.1)
OR
The responsible entity provided less
than 100%, but not less than or
equal to 95% of the required Rating
information to all of the requesting
entities. (R8, Part 8.1)
OR
The responsible entity provided the

The responsible entity provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
15 calendar days but less than or
equal to 25 calendar days. (R8, Part
8.1)

The responsible entity provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
25 calendar days but less than or
equal to 35 calendar days. (R8, Part
8.1)

OR

OR

The responsible entity provided less
than 95%, but not less than or equal
to 90% of the required Rating
information to all of the requesting
entities. (R8, Part 8.1)

The responsible entity provided less
than 90%, but not less than or equal
to 85% of the required Rating
information to all of the requesting
entities. (R8, Part 8.1)

OR

OR

Adopted by NERC Board of Trustees: May 24, 2011

The responsible entity provided its
Facility Ratings to all of the
requesting entities but missed
meeting the schedules by more than
35 calendar days. (R8, Part 8.1)
OR
The responsible entity provided less
than 85% of the required Rating
information to all of the requesting
entities. (R8, Part 8.1)
OR
The responsible entity provided the
required Rating information to the
requesting entity, but did so more

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Standard FAC-008-3 — Facility Ratings

R#

Lower VSL

Moderate VSL

High VSL

required Rating information to the
requesting entity, but the
information was provided up to and
including 15 calendar days late.
(R8, Part 8.2)

The responsible entity provided the
required Rating information to the
requesting entity, but did so more
15 calendar days but less than or
equal to 25 calendar days late. (R8,
Part 8.2)

The responsible entity provided the
required Rating information to the
requesting entity, but did so more
than 25 calendar days but less than
or equal to 35 calendar days late.
(R8, Part 8.2)

OR

OR

The responsible entity provided less
than 95%, but not less than or equal
to 90% of the required Rating
information to the requesting entity.
(R8, Part 8.2)

The responsible entity provided less
than 90%, but no less than or equal
to 85% of the required Rating
information to the requesting entity.
(R8, Part 8.2)

OR
The responsible entity provided less
than 100%, but not less than or
equal to 95% of the required Rating
information to the requesting entity.
(R8, Part 8.2)

Adopted by NERC Board of Trustees: May 24, 2011

Severe VSL
than 35 calendar days late. (R8,
Part 8.2)
OR
The responsible entity provided less
than 85 % of the required Rating
information to the requesting entity.
(R8, Part 8.2)
OR
The responsible entity failed to
provide its Rating information to
the requesting entity. (R8, Part 8.1)

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Standard FAC-008-3 — Facility Ratings

E. Regional Variances
None.
F. Associated Documents
Version History
Version

Date

Action

Change Tracking

1

Feb 7, 2006

Approved by Board of
Trustees

New

1

Mar 16, 2007

Approved by FERC

New

2

May 12, 2010

Approved by Board of
Trustees

Complete Revision, merging
FAC_008-1 and FAC-009-1
under Project 2009-06 and
address directives from Order
693

3

May 24, 2011

Addition of Requirement R8

Project 2009-06 Expansion to
address third directive from
Order 693

3

May 24, 2011

Adopted by NERC Board of
Trustees

Adopted by NERC Board of Trustees: May 24, 2011

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